About the Role:
We are seeking an experienced Senior Advisor to join our growing Internal Audit function. This is an excellent opportunity for an audit professional with financial services experience to play a key role in delivering risk-based audits, strengthening governance and controls, and supporting the organisation's commitment to regulatory compliance and best practice.
Working closely with stakeholders across the business, you will lead and manage a portfolio of audit assignments, providing independent assurance over key business processes, risk management frameworks, and regulatory obligations. You will identify opportunities for improvement, deliver insightful audit findings, and help drive positive change across the organisation.
Key Responsibilities:
- Manage and deliver a portfolio of internal audit assignments across the business.
- Support the planning and execution of risk-based audits, ensuring identified risk areas are appropriately assessed.
- Identify control weaknesses, process inefficiencies, and instances of non-compliance, providing practical and commercially focused recommendations.
- Analyse data, emerging trends, and key themes to support audit conclusions and business decision-making.
- Build strong relationships with stakeholders across the organisation, understanding key risks and business challenges.
- Prepare clear, concise, and impactful audit reports for a range of audiences.
- Escalate significant findings and contentious issues where appropriate.
- Contribute to the ongoing enhancement of risk management, governance, and internal control frameworks.
- Promote a culture of compliance, accountability, and continuous improvement.
About You:
You will be an analytical and commercially minded audit professional with strong stakeholder management skills and a proactive approach to identifying and mitigating risk.
Essential Knowledge & Experience
- Strong understanding of:
- IIA Standards and internal audit methodologies.
- UK Corporate Governance Code and FCA regulatory expectations.
- UK financial services regulations, including SMCR, MiFID II, and Basel III.
- Internal control and risk management frameworks such as COSO.
- Financial services products and operations, ideally within wealth management.
- Investment concepts and securities industry practices.
- Experience conducting internal audits and developing practical recommendations to address identified findings.
- Strong analytical capabilities with the ability to identify trends, root causes, and key business risks.
- Excellent report-writing and communication skills.
- Ability to influence stakeholders and build effective working relationships across all levels of the business.
- Comfortable working in a fast-changing regulatory, business, and technology environment.
Qualifications:
- Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline.
- Relevant professional qualification such as ACA, ACCA, CA, CIA, CPA, CFSA, CCSA, or CGAP is preferred.
- Master's degree or equivalent professional qualification would be advantageous.
- Demonstrable experience within Internal Audit, Risk, Compliance, or a related financial services environment.
What's on Offer?
- Opportunity to work within a collaborative and highly professional audit function.
- Exposure to senior stakeholders and key business initiatives.
- Ongoing professional development and support for further qualifications.
- A varied and challenging role within a regulated financial services environment.
- Competitive salary and benefits package.
Senior Advisor – Internal Audit in London employer: Charles Stanley
Raymond James Wealth Management is an exceptional employer that fosters a collaborative and supportive work culture, particularly within the Intermediary Partnerships Support team. Employees benefit from comprehensive training and development opportunities, ensuring personal and professional growth while contributing to meaningful client outcomes. Located in a dynamic financial services environment, the company prioritises employee well-being and offers a range of resources to enhance job satisfaction and performance.
